SMF16 is the FCA-approved senior manager with formal accountability for overseeing the firm's compliance with FCA rules and wider regulatory obligations, including the design and effectiveness of the compliance framework and monitoring.
It exists to give the FCA a single, clearly identifiable person responsible for managing regulatory and conduct risk, advising senior leadership, and ensuring issues are investigated, remediated, and notified where required.
Latest active appointments
Mr Alistair Wilkinson
SMF16 Compliance Oversight
Firm
AJN Wealth Management Ltd
Mr Christopher Robert Miles
SMF16 Compliance Oversight
Firm
NorthNest Private Wealth Limited
Andrew Wright
SMF16 Compliance Oversight
Firm
WESTMINSTER WISE LIMITED
Mr Martin Jackson
SMF16 Compliance Oversight
Firm
Method Financial Planning Limited
Mr Colin Iles
SMF16 Compliance Oversight
Firm
Zephyr Private Wealth LLP
Mr Stephen James Willis
SMF16 Compliance Oversight
Firm
Willis & Company (Financial Services) Limited
Mr Simon Puleston
SMF16 Compliance Oversight
Firm
Puleston Wealth Management Ltd
Mr Matthew Richard Hutson
SMF16 Compliance Oversight
Firm
H C James Wealth Management Limited
Mr Matthew Griffin
SMF16 Compliance Oversight
Firm
89 Advisory Ltd
Miss Charlotte Field
SMF16 Compliance Oversight
Firm
OF Financial Management Ltd
Clare Joanne Allen
SMF16 Compliance Oversight
Firm
Heritage Holdings Partners Limited
Mr Dominic Patrick McLoughney
SMF16 Compliance Oversight
Firm
BECKETTS WEALTH LIMITED
Mr Stephen Holmes
SMF16 Compliance Oversight
Firm
PLU Wealth (UK) Ltd
Mr David Paul Horowitz
SMF16 Compliance Oversight
Firm
Gerald Edelman Wealth Limited
Mrs Hayley Jaggers
SMF16 Compliance Oversight
Firm
Automatic Enrolment Solutions Limited
Mr Gary Slater
SMF16 Compliance Oversight
Firm
Pegasus Wealth Limited
Mr Robert Seymour
SMF16 Compliance Oversight
Firm
Wealth and Mortgage Advice Ltd
Mr Christopher Patrick Morrison
SMF16 Compliance Oversight
Firm
MGY Management Services Limited
Mr Paul James Saville
SMF16 Compliance Oversight
Firm
One Financial Solutions Limited
Mr Keith Hamish Miller
SMF16 Compliance Oversight
Firm
Capital Managers Financial Planning Ltd
Mr Jeffrey Grantham
SMF16 Compliance Oversight
Firm
Smailes Goldie Financial Management Limited
Mr Christopher Paul Griffith Welsh
SMF16 Compliance Oversight
Firm
Universum Wealth Ltd
Mr Paul Benjamin Buckley
SMF16 Compliance Oversight
Firm
Buckley Financial Services Limited
Mr Blaise Peter Davies
SMF16 Compliance Oversight
Firm
Neptune Wealth Management Limited
Mr Finlay Grant Stewart MacLennan
SMF16 Compliance Oversight
Firm
Maclennan Wealth Management Ltd
Iain Colquhoun
SMF16 Compliance Oversight
Firm
Swix Family Office UK Limited
Rene Levesley
SMF16 Compliance Oversight
Firm
Embedded Advice Limited
Mr Matthew Paveley
SMF16 Compliance Oversight
Firm
Citadel Financial Solutions Limited
Mr Michael John Oliver Toole
SMF16 Compliance Oversight
Firm
Real Wealth Partners Ltd
Mr Peter James Blackhall
SMF16 Compliance Oversight
Firm
THE FULL PICTURE FINANCIAL PLANNING LIMITED
Mr Alexander William Edward Lane
SMF16 Compliance Oversight
Firm
Fellmont Wealth Ltd
Mrs Gillian Elizabeth Hibbard
SMF16 Compliance Oversight
Firm
Indaba Wealth Management Limited
Mr David Christopher Hedge
SMF16 Compliance Oversight
Firm
Active Financial Advisers Ltd
Mr Neil Richard Emburey
SMF16 Compliance Oversight
Firm
Embers Wealth Management Ltd
Mr Benjamin Christian Kennedy Smaje
SMF16 Compliance Oversight
Firm
Kennedy Black Wealth Management Ltd
Matthew Robert Tumbridge
SMF16 Compliance Oversight
Firm
Matthew Tumbridge Financial Advice Ltd
Mr Douglas James Ryan
SMF16 Compliance Oversight
Firm
Castri WM Limited
Mrs Sarah Grimley
SMF16 Compliance Oversight
Firm
Totality Wealth Limited
Mr Nicholas Roe
SMF16 Compliance Oversight
Firm
LAMBOURN CAPITAL LTD
Mr Martin Harvey
SMF16 Compliance Oversight
Firm
Envision Financial Planning Ltd
Ms Myriam Zandonini
SMF16 Compliance Oversight
Firm
ACG Advisors Group (UK) Limited
Mr Martin Botha
SMF16 Compliance Oversight
Firm
Wealth Max Limited
Mr Richard Derek Clayton
SMF16 Compliance Oversight
Firm
Old Royle Wealth Management Limited
Mr Darren Ross Hopkins
SMF16 Compliance Oversight
Firm
Richstone Park Financial Planning Limited
Mr Gidon Jonathan Said
SMF16 Compliance Oversight
Firm
Novara Wealth Ltd
Mr Ian Stuart Else
SMF16 Compliance Oversight
Firm
4 Financial Planning Ltd
Mr John Chadwick
SMF16 Compliance Oversight
Firm
Blackwood Financial Planning Limited
Mrs Rebecca Elicia Standeven
SMF16 Compliance Oversight
Firm
Dr David Smith Financial Services Ltd
Mr Christopher Richard Philcox
SMF16 Compliance Oversight
Firm
Clearly Independent Financial Planning LTD
Mr Kristopher Martin Dabner
SMF16 Compliance Oversight
Firm
KMD Financial Planning LLP
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